90 Discontinuance of contributions to political fund.
(1) Where there ceases to be any political resolution in force in relation to a trade union, the union shall take such steps as are necessary to ensure that the collection of contributions to its political fund is discontinued as soon as is reasonably practicable.
(2) The union may, notwithstanding any of its rules, pay into any of its other funds any such contribution which is received by it after the resolution ceases to have effect.
(3) If the union continues to collect contributions, it shall refund to a member who applies for a refund the contributions made by him collected after the resolution ceased to have effect.
(4) A member of a trade union who claims that the union has failed to comply with subsection (1) may apply to the court for a declaration to that effect.
(5) Where the court is satisfied that the complaint is well-founded, it may, if it considers it appropriate to do so in order to secure that the collection of contributions to the political fund is discontinued, make an order requiring the union to take, within such time as may be specified in the order, such steps as may be so specified.
Such an order may be enforced by a person who is a member of the union and was a member at the time the order was made as if he had made the application.
(6) The remedy for failure to comply with subsection (1) is in accordance with subsections (4) and (5), and not otherwise; but this does not affect any right to recover sums payable to a person under subsection (3).
(1) If there ceases to be any political resolution in force in relation to a trade union, the rules of the union made for the purpose of complying with this Chapter also cease to have effect, except so far as they are required to enable the political fund to be administered at a time when there is no such resolution in force.
(2) If the resolution ceases to have effect by reason of a ballot being held on which a new political resolution is not passed, the rules cease to have effect at the end of the period of six months beginning with the date of the ballot.
In any other case the rules cease to have effect when the resolution ceases to have effect.
(3) Nothing in this section affects the operation of section 82(2) (complaint to Certification Officer in respect of breach of rules) in relation to a breach of a rule occurring before the rule in question ceased to have effect.
(4) A member of a trade union who has at any time not been a contributor to its political fund shall not for that reason—
(a) be excluded from any benefits of the union, or
(b) be placed in any respect either directly or indirectly under a disability or at a disadvantage as compared with other members (except in relation to the control or management of the political fund).
If the Certification Officer is satisfied, and certifies, that rules of a trade union made for any of the purposes of this Chapter and requiring approval by him have been approved—
(a) by a majority of the members of the union voting for the purpose, or
(b) by a majority of delegates of the union at a meeting called for the purpose,
the rules shall have effect as rules of the union notwithstanding that the rules of the union as to the alteration of rules or the making of new rules have not been complied with.
(1) Where on an amalgamation of two or more trade unions—
(a) there is in force in relation to each of the amalgamating unions a political resolution and such rules as are required by this Chapter, and
(b) the rules of the amalgamated union in force immediately after the amalgamation include such rules as are required by this Chapter,
the amalgamated union shall be treated for the purposes of this Chapter as having passed a political resolution.
(2) That resolution shall be treated as having been passed on the date of the earliest of the ballots on which the resolutions in force immediately before the amalgamation with respect to the amalgamating unions were passed.
(3) Where one of the amalgamating unions is a Northern Ireland union, the references above to the requirements of this Chapter shall be construed as references to the requirements of the corresponding provisions of the law of Northern Ireland.
(1) Where a political resolution is in force in relation to the union—
(a) rules made by the union for the purpose of complying with section 72D (trade union without a branch or section in Northern Ireland: trade union with a branch or section in Northern Ireland: political ballot rules) or section 74 (political ballot rules) in relation to a proposed ballot may provide for overseas members of the union not to be accorded entitlement to vote in the ballot , and
(b) rules made by the union for the purpose of complying with section 84A (opt-out information notices) may provide for opt-out information notices not to be given by the union to its overseas members.
(2) Accordingly, where provision is made in accordance with subsection (1)(a), the Certification Officer shall not on that ground withhold his approval of the rules ; and where provision is made in accordance with subsection (1)(b), section 84A(1) is not to be taken to require opt-out information notices to be given to overseas members ...
(3) An “overseas member” means a member of the trade union (other than a merchant seaman or offshore worker) who is outside Great Britain throughout the period during which votes may be cast.
For this purpose—
“merchant seaman” means a person whose employment, or the greater part of it, is carried out on board sea-going ships; and
“offshore worker” means a person in offshore employment, other than one who is in such employment in an area where the law of Northern Ireland applies.
An appeal lies to the Employment Appeal Tribunal on any question of law arising in proceedings before or arising from any decision of the Certification Officer under this Chapter.
(1) Two or more trade unions may amalgamate and become one trade union, with or without a division or dissolution of the funds of any one or more of the amalgamating unions, but shall not do so unless—
(a) the instrument of amalgamation is approved in accordance with section 98, and
(b) the requirements of section 99 (notice to members) and section 100 (resolution to be passed by required majority on ballot ...) are complied with in respect of each of the amalgamating unions.
(2) A trade union may transfer its engagements to another trade union which undertakes to fulfil those engagements, but shall not do so unless—
(a) the instrument of transfer is approved in accordance with section 98, and
(b) the requirements of section 99 (notice to members) and section 100 (resolution to be passed by required majority on ballot ...) are complied with in respect of the transferor union.
(3) An amalgamation or transfer of engagements does not prejudice any right of any creditor of any trade union party to the amalgamation or transfer.
(4) The above provisions apply to every amalgamation or transfer of engagements notwithstanding anything in the rules of any of the trade unions concerned.
98 Approval of instrument of amalgamation or transfer.
(1) The instrument of amalgamation or transfer must be approved by the Certification Officer and shall be submitted to him for approval before a ballot of the members of any amalgamating union, or (as the case may be) of the transferor union, is held on the resolution to approve the instrument.
(2) If the Certification Officer is satisfied—
(a) that an instrument of amalgamation complies with the requirements of any regulations in force under this Chapter, and
(b) that he is not prevented from approving the instrument of amalgamation by subsection (3),
he shall approve the instrument.
(3) The Certification Officer shall not approve an instrument of amalgamation if it appears to him that the proposed name of the amalgamated union is the same as the name under which another organisation—
(a) was on 30th September 1971 registered as a trade union under the Trade Union Acts 1871 to 1964,
(b) was at any time registered as a trade union or employers' association under the Industrial Relations Act 1971, or
(c) is for the time being entered in the list of trade unions or in the list of employers' associations,
or if the proposed name is one so nearly resembling any such name as to be likely to deceive the public.
(4) Subsection (3) does not apply if the proposed name is the name of one of the amalgamating unions.
(5) If the Certification Officer is satisfied that an instrument of transfer complies with the requirements of any regulations in force under this Chapter, he shall approve the instrument.
(1) The trade union shall take all reasonable steps to secure that voting materials which are supplied for voting in the ballot on the resolution to approve the instrument of amalgamation or transfer are accompanied by a notice in writing approved for the purpose by the Certification Officer.
(2) The notice shall be in writing and shall either—
(a) set out in full the instrument of amalgamation or transfer to which the resolution relates, or
(b) give an account of it sufficient to enable those receiving the notice to form a reasonable judgment of the main effects of the proposed amalgamation or transfer.
(3) If the notice does not set out the instrument in full it shall state where copies of the instrument may be inspected by those receiving the notice.
(3A) The notice shall not contain any statement making a recommendation or expressing an opinion about the proposed amalgamation or transfer.
(4) The notice shall also comply with the requirements of any regulations in force under this Chapter.
(5) The notice proposed to be supplied to members of the union under this section shall be submitted to the Certification Officer for approval; and he shall approve it if he is satisfied that it meets the requirements of this section.
(6) In this section “voting materials” means either or both of the following—
(a) voting papers;
(b) voting access methods.
(1) A resolution approving the instrument of amalgamation or transfer must be passed on a ballot of the members of the trade union held in accordance with , so far as applicable, sections 100ZA to 100F and Schedule A1A.
(2) A simple majority of those voting is sufficient to pass such a resolution unless the rules of the trade union expressly require it to be approved by a greater majority or by a specified proportion of the members of the union.
100ZA Responsible person’s determination of means of voting
(1) Before the ballot is held, the responsible person for the ballot must make a determination about the means of voting in the ballot.
(2) The determination must set out which one or more of the permissible means of voting is available for the ballot.
(3) Where the determination provides that more than one permissible means of voting is available for the ballot, the determination must also set out—
(a) that each of those means is available for each person who is entitled to vote in the ballot, or
(b) which one or more of those means is available for one or more of the following—
(i) particular persons who are entitled to vote in the ballot;
(ii) particular descriptions of persons who are entitled to vote in the ballot.
(4) Where the determination includes provision under subsection (3)(b), the determination must be such that at least one permissible means of voting is available for each person who is entitled to vote in the ballot.
(5) Where the determination provides—
(a) that more than one permissible means of voting is available for a particular person or description of persons, or
(b) that hybrid voting is available for the ballot,
the determination must include provision setting out which vote is to be counted in a case where a person casts more than one vote (and section 100CA(4) applies for the purposes of construing the number of votes cast by a person).
(6) Schedule ZA1 sets out further requirements in relation to a determination by the responsible person.
(7) In the case of a ballot under section 97(1)(b) (amalgamation) which is carried out by a trade union which is a party to the proposed amalgamation, the responsible person is the trade union.
(8) In the case of a ballot under section 97(2)(b) (transfer of engagements), the responsible person is the transferor union.
(9) The permissible means of voting for a ballot under section 97(1)(b) or (2)(b) are—
(a) postal voting;
(b) electronic voting;
(c) hybrid voting.
(10) In this Chapter—
(a) “selected means of voting” means, in relation to a ballot, a permissible means of voting that is available for the ballot as a result of a determination under this section;
(b) a person is “eligible to vote” in a ballot by a particular means of voting if the determination under this section for the ballot sets out that that means is available for the person (see subsection (3)).
(1) The trade union shall, before the ballot is held, appoint a qualified independent person (“the scrutineer”) to carry out—
(a) the functions in relation to the ballot which are required under this section to be contained in his appointment; and
(b) such additional functions in relation to the ballot as may be specified in his appointment.
(2) A person is a qualified independent person in relation to a ballot if—
(a) he satisfies such conditions as may be specified for the purposes of this section by order of the Secretary of State or is himself so specified; ...
(b) the trade union has no grounds for believing either that he will carry out any functions conferred on him in relation to the ballot otherwise than competently or that his independence in relation to the union, or in relation to the ballot, might reasonably be called into question ; and
(c) in the case of a ballot for which electronic voting or hybrid voting is a selected means of voting, the computer networks and systems which the person intends to use for conducting the ballot are covered by one or more qualifying Cyber Essentials Plus certificates awarded to the person.
An order under paragraph (a) shall be made by statutory instrument which shall be subject to annulment in pursuance of a resolution of either House of Parliament.
(2A) For the purposes of subsection (2)—
(a) “Cyber Essentials Plus certificate” means a certificate awarded in accordance with Cyber Essentials Plus Test Specification v3.2, or a later version of that document, published by the Government Communications Headquarters;
(b) a Cyber Essentials Plus certificate awarded to a person is a “qualifying Cyber Essentials Plus certificate” if its expiry date is such that the certificate will remain valid for the duration of the ballot for which the person is appointed.
(3) The scrutineer’s appointment shall require him—
(a) in relation to voting papers sent or to be sent in accordance with section 100CC (postal voting: voting paper and method of voting)—
(i) where someone other than the scrutineer is appointed under section 100D, to supervise the production and distribution of the voting papers;
(ii) otherwise, to supervise the production of the voting papers, undertake the distribution of the voting papers and be the person to whom the voting papers are returned;
(aza) in relation to voting papers sent or to be sent in accordance with paragraph 14(1) of Schedule A1A (hybrid voting), to supervise the production of the voting papers, undertake the distribution of the voting papers and be the person to whom the voting papers are returned;
(azb) where electronic voting forms are to be used for the ballot—
(i) to generate and distribute voting access methods;
(ii) to maintain the electronic voting system;
(iii) to maintain the audit logs;
(iv) to appropriately retain relevant personal information, voting information, voting access method information and the audit logs;
(b) to—
(i) inspect the register of names and addresses of the members of the trade union, or
(ii) examine the copy of the register as at the relevant date which is supplied to him in accordance with subsection (9)(a),
whenever it appears to him appropriate to do so and, in particular, when the conditions specified in subsection (4) are satisfied;
(c) to take such steps as appear to him to be appropriate for the purpose of enabling him to make his report (see section 100E);
(d) to make his report to the trade union as soon as reasonably practicable after the last voting day; and
(e) to retain custody of all voting papers returned for the purposes of the ballot and the copy of the register supplied to him in accordance with subsection (9)(a)—
(i) until the end of the period of one year beginning with the announcement by the union of the result of the ballot; and
(ii) if within that period a complaint is made under section 103 (complaint as regards passing of resolution), until the Certification Officer or Employment Appeal Tribunal authorises him to dispose of the papers or copy.
(4) The conditions referred to in subsection (3)(b) are—
(a) that a request that the scrutineer inspect the register or examine the copy is made to him during the appropriate period by a member of the trade union who suspects that the register is not, or at the relevant date was not, accurate and up-to-date, and
(b) that the scrutineer does not consider that the member’s suspicion is ill-founded.
(5) In subsection (4) “the appropriate period” means the period—
(a) beginning with the day on which the scrutineer is appointed, and
(b) ending with the day before the day on which the scrutineer makes his report to the trade union.
(6) The duty of confidentiality as respects the register is incorporated in the scrutineer’s appointment.
(7) The trade union shall ensure that nothing in the terms of the scrutineer’s appointment (including any additional functions specified in the appointment) is such as to make it reasonable for any person to call the scrutineer’s independence in relation to the union into question.
(8) The trade union shall, before the scrutineer begins to carry out his functions, either—
(a) send a notice stating the name of the scrutineer to every member of the union to whom it is reasonably practicable to send such a notice, or
(b) take all such other steps for notifying members of the name of the scrutineer as it is the practice of the union to take when matters of general interest to all its members need to be brought to their attention.
(9) The trade union shall—
(a) supply to the scrutineer as soon as is reasonably practicable after the relevant date a copy of the register of names and addresses of its members as at that date, and
(b) comply with any request made by the scrutineer to inspect the register.
(10) Where the register is kept by means of a computer the duty imposed on the trade union by subsection (9)(a) is either to supply a legible printed copy or (if the scrutineer prefers) to supply a copy of the computer data and allow the scrutineer use of the computer to read it at any time during the period when he is required to retain custody of the copy.
(11) The trade union shall ensure that the scrutineer duly carries out his functions and that there is no interference with his carrying out of those functions which would make it reasonable for any person to call the scrutineer’s independence in relation to the union into question.
(12) The trade union shall comply with all reasonable requests made by the scrutineer for the purposes of, or in connection with, the carrying out of his functions.
(12A) The trade union must, so far as reasonably practicable, send to the scrutineer at least one of the following in respect of each person who is eligible to vote by electronic voting—
(a) an email address which meets the requirements in subsection (12B);
(b) a mobile telephone number which meets the requirements in subsection (12B).
(12B) The requirements are that the email address or mobile telephone number—
(a) was not provided to the person by and is not controlled by—
(i) the person’s employer in their capacity as the person’s employer, or
(ii) the trade union,
(b) has not been provided to the scrutineer in respect of any other person for the purposes of the ballot, and
(c) has been provided by the person to the trade union for the purpose of communication between the person and the trade union.
(13) In this section—
“last voting day” means the later of the following days, so far as applicable—
the last day for the return of voting papers;
the last day for submission of electronic voting forms;
“the relevant date” means—
where the trade union has rules determining who is entitled to vote in the ballot by reference to membership on a particular date, that date, and
otherwise, the date, or the last date, on which voting materials are distributed for the purposes of the ballot;
“voting materials” means either or both of the following, as applicable—
voting access methods;
voting papers.
(1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(3) Every person who is entitled to vote in the ballot must—
(a) be allowed to vote without interference or constraint, and
(b) so far as is reasonably practicable, be enabled to do so without incurring any direct cost to himself.
(4) So far as is reasonably practicable, every person who is entitled to vote in the ballot must—
(a) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(b) be given a convenient opportunity to vote ....
(5) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(6) The ballot shall be conducted so as to secure that—
(a) so far as is reasonably practicable, those voting do so in secret, and
(b) the votes given in the ballot are fairly and accurately counted.
For the purposes of paragraph (b) an inaccuracy in counting shall be disregarded if it is accidental and on a scale which could not affect the result of the ballot.
100CA Counting of votes where multiple votes cast by same person
(1) This section applies where the responsible person for the ballot has determined that a person is eligible to vote in the ballot by more than one means of voting, or that a person is eligible to vote in the ballot by hybrid voting.
(2) Where this section applies—
(a) only one vote cast by the person is to be counted,
(b) the vote which is to be counted is to be determined in accordance with provision in the determination made by virtue of section 100ZA(5), and
(c) that provision and an explanation of its effect must be sent to the person along with the voting materials for the ballot.
(3) In this section—
“responsible person” is to be interpreted in accordance with section 100ZA;
“voting materials” means—
voting papers, and
voting access methods.
(4) For the purposes of this section, each of the following is to be treated as casting a separate vote—
(a) returning a voting paper which was sent in accordance with paragraph 14(1) of Schedule A1A;
(b) submitting an electronic voting form where the voting access method used to access the electronic voting form was sent in accordance with paragraph 14(1) of Schedule A1A.
100CC Postal voting: voting paper and method of voting
(1) So far as is reasonably practicable, every person who is eligible to vote by postal voting must have a voting paper sent to them by post at their home address or another address which they have requested the trade union in writing to treat as their postal address.
(2) Each voting paper must—
(a) state the name of the independent scrutineer and clearly specify the address to which, and the date by which, it is to be returned,
(b) be given one of a series of consecutive whole numbers every one of which is used in giving a different number in that series to each voting paper printed or otherwise produced for the purposes of the ballot, and
(c) be marked with its number.
(3) Where a person chooses to vote by postal voting, the person votes by marking the voting paper sent to them.
(4) A voting paper which is sent or otherwise provided to a person for voting must not have enclosed with it any other document except—
(a) the notice which, under section 99(1), is to accompany the voting paper,
(b) an addressed envelope,
(c) a document containing instructions for the return of the voting paper, and
(d) the provision required to be sent with the voting materials under section 100CA(2)(c),
without any other statement.
100D Postal voting: counting of votes etc. by independent person
(1) The trade union shall ensure that—
(a) the storage and distribution of the voting papers for the purposes of the ballot, and
(b) the counting of the votes cast in the ballot,
are undertaken by one or more independent persons appointed by the trade union.
(2) A person is an independent person in relation to a ballot if—
(a) he is the scrutineer, or
(b) he is a person other than the scrutineer and the trade union has no grounds for believing either that he will carry out any functions conferred on him in relation to the ballot otherwise than competently or that his independence in relation to the union, or in relation to the ballot, might reasonably be called into question.
(3) An appointment under this section shall require the person appointed to carry out his functions so as to minimise the risk of any contravention of requirements imposed by or under any enactment or the occurrence of any unfairness or malpractice.
(4) The duty of confidentiality as respects the register is incorporated in the scrutineer’s appointment.
(5) Where the person appointed to undertake the counting of votes is not the scrutineer, his appointment shall require him to send the voting papers back to the scrutineer as soon as reasonably practicable after the counting has been completed.
(6) The trade union—
(a) shall ensure that nothing in the terms of an appointment under this section is such as to make it reasonable for any person to call into question the independence of the person appointed in relation to the union,
(b) shall ensure that a person appointed under this section duly carries out his functions and that there is no interference with his carrying out of those functions which would make it reasonable for any person to call into question the independence of the person appointed in relation to the union, and
(c) shall comply with all reasonable requests made by a person appointed under this section for the purposes of, or in connection with, the carrying out of his functions.
Where electronic voting is a selected means of voting for a ballot, Parts 1 and 2 of Schedule A1A apply in relation to electronic voting in the ballot (and Part 4 of that Schedule applies for the purposes of Parts 1 and 2).
Where hybrid voting is a selected means of voting for a ballot, Parts 1 and 3 of Schedule A1A apply in relation to hybrid voting in the ballot (and Part 4 of that Schedule applies for the purposes of Parts 1 and 3).
(1) The scrutineer’s report on the ballot shall state , so far as relevant—
(a) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(aa) the means of voting by which votes have been cast in the ballot,
(ab) the number of persons who were entitled to vote in the ballot,
(b) the number of voting papers returned to the scrutineer,
(ba) the number of electronic voting forms submitted,
(c) the number of valid votes cast in the ballot for and against the resolution,
(d) the number of spoiled or otherwise invalid voting papers returned and electronic voting forms submitted, ...
(e) the name of the person (or of each of the persons) appointed under section 100D or, if no person was so appointed, that fact,
(f) the number of submitted electronic voting forms which were discounted by the scrutineer following a request from the person who submitted the electronic voting form, and
(g) the changes made to permissions to access and edit the electronic voting system during the ballot.
(2) The report shall also state whether the scrutineer is satisfied—
(a) that there are no reasonable grounds for believing that there was any contravention of a requirement imposed by or under any enactment in relation to the ballot,
(b) that the arrangements made (whether by him or any other person) with respect to the following matters, so far as relevant, included all such security arrangements as were reasonably practicable for the purpose of minimising the risk that any unfairness or malpractice might occur—
(i) the production, storage, distribution, return or other handling of the voting papers used in the ballot;
(ii) the production, distribution and storage of voting access methods and the maintenance of the electronic voting system;
(iii) the counting of the votes,
(c) that he has been able to carry out his functions without any such interference as would make it reasonable for any person to call his independence in relation to the union into question;
and if he is not satisfied as to any of those matters, the report shall give particulars of his reasons for not being satisfied as to that matter.
(3) The report shall also state—
(a) whether the scrutineer—
(i) has inspected the register of names and addresses of the members of the trade union, or
(ii) has examined the copy of the register as at the relevant date which is supplied to him in accordance with section 100A(9)(a),
(b) if he has, whether in the case of each inspection or examination he was acting on a request by a member of the trade union or at his own instance,
(c) whether he declined to act on any such request, and
(d) whether any inspection of the register, or any examination of the copy of the register, has revealed any matter which he considers should be drawn to the attention of the trade union in order to assist it in securing that the register is accurate and up-to-date,
but shall not state the name of any member who has requested such an inspection or examination.
(4) Where one or more persons other than the scrutineer are appointed under section 100D, the statement included in the scrutineer’s report in accordance with subsection (2)(b) shall also indicate—
(a) whether he is satisfied with the performance of the person, or each of the persons, so appointed, and
(b) if he is not satisfied with the performance of the person, or any of them, particulars of his reasons for not being so satisfied.
(5) The trade union shall not publish the result of the ballot until it has received the scrutineer’s report.
(6) The trade union shall within the period of three months after it receives the report—
(a) send a copy of the report to every member of the union to whom it is reasonably practicable to send such a copy; or
(b) take all such other steps for notifying the contents of the report to the members of the union (whether by publishing the report or otherwise) as it is the practice of the union to take when matters of general interest to all its members need to be brought to their attention.
(7) Any such copy or notification shall be accompanied by a statement that the union will, on request, supply any member of the trade union with a copy of the report, either free of charge or on payment of such reasonable fee as may be specified in the notification.
(8) The trade union shall so supply any member of the union who makes such a request and pays the fee (if any) notified to him.
100F Small accidental failures in relation to electronic voting to be disregarded
(1) If—
(a) in relation to a ballot there is a failure (or there are failures) to comply with a provision mentioned in subsection (2) or with more than one of those provisions, and
(b) the failure is accidental and on a scale which is unlikely to affect the result of the ballot or, as the case may be, the failures are accidental and taken together are on a scale which is unlikely to affect the result of the ballot,
the failure (or failures), in so far as they relate to electronic voting, are to be disregarded for all purposes.
(2) The provisions are—
(a) section 99(1) (notice to be given to members);
(b) section 100A(12A) (requirement to send contact information to scrutineer);
(c) section 100C(4)(b) (requirement to provide a convenient opportunity to vote);
(d) section 100CA(2)(c) (requirement to send provision concerning how votes are counted where a person casts multiple votes);
(e) paragraph 12(1) of Schedule A1A (requirement to send electronic voting materials);
(f) paragraph 12(4) of Schedule A1A (requirement to use contact information provided by trade union).
101 Registration of instrument of amalgamation or transfer.
(1) An instrument of amalgamation or transfer shall not take effect before it has been registered by the Certification Officer under this Chapter.
(2) It shall not be so registered before the end of the period of six weeks beginning with the date on which an application for its registration is sent to the Certification Officer.
(3) An application for registration of an instrument of amalgamation or transfer shall not be sent to the Certification Officer until section 100E(6) has been complied with in relation to the scrutineer’s report on the ballot held on the resolution to approve the instrument.
(1) Subsection (2) applies if when an instrument of amalgamation is registered by the Certification Officer under this Chapter each of the amalgamating unions is entered in the list of trade unions.
(2) The Certification Officer shall—
(a) enter, with effect from the amalgamation date, the name of the amalgamated union in the list of trade unions, and
(b) remove, with effect from that date, the names of the amalgamating unions from that list.
(3) Subsection (4) applies if when an instrument of amalgamation is registered by the Certification Officer under this Chapter each of the amalgamating unions has a certificate of independence which is in force.
(4) The Certification Officer shall issue to the amalgamated trade union, with effect from the amalgamation date, a certificate that the union is independent.
(5) In this section “the amalgamation date” means the date on which the instrument of amalgamation takes effect.
(1) If an instrument of amalgamation is registered under this Chapter by the Certification Officer and the amalgamated union is entered in the list of trade unions in accordance with section 101A, that union shall send to him, in such manner and form as he may require—
(a) a copy of the rules of the union,
(b) a list of its officers, and
(c) the address of its head or main office.
(2) The information required to be sent under subsection (1) must be accompanied by any fee prescribed for the purpose under section 108.
(3) The information must be sent—
(a) before the end of the period of six weeks beginning with the date on which the instrument of amalgamation takes effect, or
(b) if the Certification Officer considers that it is not reasonably practicable for the amalgamated union to send it in that period, before the end of such longer period, beginning with that date, as he may specify to the amalgamated union.
(4) If any of subsections (1) to (3) are not complied with by the amalgamated union, the Certification Officer shall remove its name from the list of trade unions.
102 Power to alter rules of transferee union for purposes of transfer.
(1) Where a trade union proposes to transfer its engagements to another trade union and an alteration of the rules of the transferee union is necessary to give effect to provisions in the instrument of transfer, the committee of management or other governing body of that union may by memorandum in writing alter the rules of that union so far as is necessary to give effect to those provisions.
This subsection does not apply if the rules of the trade union expressly provide that this section is not to apply to that union.
(2) An alteration of the rules of a trade union under subsection (1) shall not take effect unless or until the instrument of transfer takes effect.
(3) The provisions of subsection (1) have effect, where they apply, notwithstanding anything in the rules of the union.
103 Complaint to Certification Officer as regards passing of resolution.
(1) A member of a trade union who claims that the union—
(a) has failed to comply with any of the requirements, so far as applicable, of sections 99 to 100F and Schedule A1A, or
(b) has, in connection with a resolution approving an instrument of amalgamation or transfer, failed to comply with any rule of the union relating to the passing of the resolution,
may complain to the Certification Officer ....
(2) Any complaint must be made before the end of the period of six weeks beginning with the date on which an application for registration of the instrument of amalgamation or transfer is sent to the Certification Officer.
Where a complaint is made, the Certification Officer shall not register the instrument before the complaint is finally determined or is withdrawn.
(2A) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(3) Where the Certification Officer is satisfied that there has been a failure such as is mentioned in paragraph (a) or (b) of subsection (1)—
(a) he shall make a declaration to that effect, and
(b) he may make an order specifying the steps which must be taken before he will entertain any application to register the instrument of amalgamation or transfer;
and where he makes such an order, he shall not entertain any application to register the instrument unless he is satisfied that the steps specified in the order have been taken.
An order under this subsection may be varied by the Certification Officer by a further order.
(3A) Before deciding the matter the Certification Officer—
(a) may make such enquiries as the Officer thinks fit,
(b) must give the union and the complainant ... an opportunity to make written representations, and
(c) may give the union and the complainant ... an opportunity to make oral representations.
(4) The Certification Officer shall furnish a statement, orally or in writing, of the reasons for his decision ... under this section.
(5) The validity of a resolution approving an instrument of amalgamation or transfer shall not be questioned in any legal proceedings whatsoever (except proceedings before the Certification Officer under this section or proceedings arising out of such proceedings) on any ground on which a complaint could be, or could have been, made to the Certification Officer under this section.
(6) Where the Certification Officer requests a person to furnish information to him in connection with enquiries made by him under this section, he shall specify the date by which that information is to be furnished and, unless he considers that it would be inappropriate to do so, shall proceed with his determination ... notwithstanding that the information has not been furnished to him by the specified date.
(7) A declaration made by the Certification Officer under this section may be relied on as if it were a declaration made by the court.
(8) Where an order has been made under this section, any person who is a member of the union and was a member at the time it was made is entitled to enforce obedience to the order as if he had made a complaint under this section.
(9) An order made by the Certification Officer under this section may be enforced in the same way as an order of the court.
104 Appeal from decision of Certification Officer.
An appeal lies to the Employment Appeal Tribunal, at the instance of the complainant or the trade union, on any question of law arising in any proceedings before, or arising from any decision of, the Certification Officer under section 103.
105 Transfer of property on amalgamation or transfer.
(1) Where an instrument of amalgamation or transfer takes effect, the property held—
(a) for the benefit of any of the amalgamating unions, or for the benefit of a branch of any of those unions, by the trustees of the union or branch, or
(b) for the benefit of the transferor trade union, or for the benefit of a branch of the transferor trade union, by the trustees of the union or branch,
shall without any conveyance, assignment or assignation vest, on the instrument taking effect, or on the appointment of the appropriate trustees, whichever is the later, in the appropriate trustees.
(2) In the case of property to be held for the benefit of a branch of the amalgamated union, or of the transferee union, “the appropriate trustees” means the trustees of that branch, unless the rules of the amalgamated or transferee union provide that the property to be so held is to be held by the trustees of the union.
(3) In any other case “the appropriate trustees” means the trustees of the amalgamated or transferee union.
(4) This section does not apply—
(a) to property excepted from the operation of this section by the instrument of amalgamation or transfer, or
(b) to stocks and securities in the public funds of the United Kingdom or Northern Ireland.
106 Amalgamation or transfer involving Northern Ireland union.
(1) This Chapter has effect subject to the following modifications in the case of an amalgamation or transfer of engagements to which a trade union and a Northern Ireland union are party.
(2) The requirements , so far as applicable, of sections 98 to 100F and 101(3) and Schedule A1A (approval of instrument, notice to members and ballot on resolution) do not apply in relation to the Northern Ireland union; but the Certification Officer shall not register the instrument under section 101 unless he is satisfied that it will be effective under the law of Northern Ireland.
(3) The instrument of amalgamation or transfer submitted to the Certification Officer for his approval under section 98 shall state which of the bodies concerned is a Northern Ireland union and, in the case of an amalgamation, whether the amalgamated body is to be a Northern Ireland union; and the Certification Officer shall withhold his approval if the instrument does not contain that information.
(4) Nothing in section 102 (alteration of rules) or sections 103 and 104 (complaint as to passing of resolution) applies in relation to the Northern Ireland union.
(5) Subject to the exceptions specified above, the provisions of this Chapter as to amalgamations or transfers of engagements apply in relation to the Northern Ireland union.
(1) A trade union may change its name by any method expressly provided for by its rules or, if its rules do not expressly provide for a method of doing so, by adopting in accordance with its rules an alteration of the provision in them which gives the union its name.
(2) If the name of the trade union is entered in the list of trade unions a change of name shall not take effect until approved by the Certification Officer.
(3) The Certification Officer shall not approve a change of name if it appears to him that the proposed new name—
(a) is the same as one entered in the list as the name of another trade union, or
(b) is the same as one entered in the list of employers’ associations kept under Part II of this Act,
or is a name so nearly resembling such a name as to be likely to deceive the public.
(4) A change of name by a trade union does not affect any right or obligation of the union or any of its members; and any pending legal proceedings may be continued by or against the union, the trustees of the union or any other officer of the union who can sue or be sued on its behalf notwithstanding its change of name.
(1) The Secretary of State may make regulations as respects—
(a) applications to the Certification Officer under this Chapter,
(b) the registration under this Chapter of any document or matter,
(c) the inspection of documents kept by the Certification Officer under this Chapter,
(d) the charging of fees in respect of such matters, and of such amounts, as may with the approval of the Treasury be prescribed by the regulations,
and generally for carrying this Chapter into effect.
(2) Provision may in particular be made—
(a) requiring an application for the registration of an instrument of amalgamation or transfer, or of a change of name, to be accompanied by such statutory declarations or other documents as may be specified in the regulations;
(b) as to the form or content of any document required by this Chapter, or by the regulations, to be sent or submitted to the Certification Officer and as to the manner in which any such document is to be signed or authenticated;
(c) authorising the Certification Officer to require notice to be given or published in such manner as he may direct of the fact that an application for registration of an instrument of amalgamation or transfer has been or is to be made to him.
(3) Regulations under this section may make different provision for different circumstances.
(4) Regulations under this section shall be made by statutory instrument which shall be subject to annulment in pursuance of a resolution of either House of Parliament.
(1) A person who claims that there has been a breach or threatened breach of the rules of a trade union relating to any of the matters mentioned in subsection (2) may apply to the Certification Officer for a declaration to that effect, subject to subsections (3) to (7).
(2) The matters are—
(a) the appointment or election of a person to, or the removal of a person from, any office;
(b) disciplinary proceedings by the union (including expulsion);
(c) the balloting of members on any issue other than industrial action;
(d) the constitution or proceedings of any executive committee or of any decision-making meeting;
(e) such other matters as may be specified in an order made by the Secretary of State.
(3) The applicant must be a member of the union, or have been one at the time of the alleged breach or threatened breach.
(4) A person may not apply under subsection (1) in relation to a claim if he is entitled to apply under section 80 in relation to the claim.
(5) No application may be made regarding—
(a) the dismissal of an employee of the union;
(b) disciplinary proceedings against an employee of the union.
(6) An application must be made—
(a) within the period of six months starting with the day on which the breach or threatened breach is alleged to have taken place, or
(b) if within that period any internal complaints procedure of the union is invoked to resolve the claim, within the period of six months starting with the earlier of the days specified in subsection (7).
(7) Those days are—
(a) the day on which the procedure is concluded, and
(b) the last day of the period of one year beginning with the day on which the procedure is invoked.
(8) The reference in subsection (1) to the rules of a union includes references to the rules of any branch or section of the union.
(9) In subsection (2)(c) “industrial action” means a strike or other industrial action by persons employed under contracts of employment.
(10) For the purposes of subsection (2)(d) a committee is an executive committee if—
(a) it is a committee of the union concerned and has power to make executive decisions on behalf of the union or on behalf of a constituent body,
(b) it is a committee of a major constituent body and has power to make executive decisions on behalf of that body, or
(c) it is a sub-committee of a committee falling within paragraph (a) or (b).
(11) For the purposes of subsection (2)(d) a decision-making meeting is—
(a) a meeting of members of the union concerned (or the representatives of such members) which has power to make a decision on any matter which, under the rules of the union, is final as regards the union or which, under the rules of the union or a constituent body, is final as regards that body, or
(b) a meeting of members of a major constituent body (or the representatives of such members) which has power to make a decision on any matter which, under the rules of the union or the body, is final as regards that body.
(12) For the purposes of subsections (10) and (11), in relation to the trade union concerned—
(a) a constituent body is any body which forms part of the union, including a branch, group, section or region;
(b) a major constituent body is such a body which has more than 1,000 members.
(13) Any order under subsection (2)(e) shall be made by statutory instrument; and no such order shall be made unless a draft of it has been laid before and approved by resolution of each House of Parliament.
(14) If a person applies to the Certification Officer under this section in relation to an alleged breach or threatened breach he may not apply to the court in relation to the breach or threatened breach; but nothing in this subsection shall prevent such a person from exercising any right to appeal against or challenge the Certification Officer’s decision on the application to him.
(15) If—
(a) a person applies to the court in relation to an alleged breach or threatened breach, and
(b) the breach or threatened breach is one in relation to which he could have made an application to the Certification Officer under this section,
he may not apply to the Certification Officer under this section in relation to the breach or threatened breach.
(1) The Certification Officer may refuse to accept an application under section 108A unless he is satisfied that the applicant has taken all reasonable steps to resolve the claim by the use of any internal complaints procedure of the union.
(2) If he accepts an application under section 108A the Certification Officer—
(a) shall make such enquiries as he thinks fit,
(b) shall give the applicant and the union an opportunity to be heard,
(c) shall ensure that, so far as is reasonably practicable, the application is determined within six months of being made,
(d) may make or refuse the declaration asked for, and
(e) shall, whether he makes or refuses the declaration, give reasons for his decision in writing.
(3) Where the Certification Officer makes a declaration he shall also, unless he considers that to do so would be inappropriate, make an enforcement order, that is, an order imposing on the union one or both of the following requirements—
(a) to take such steps to remedy the breach, or withdraw the threat of a breach, as may be specified in the order;
(b) to abstain from such acts as may be so specified with a view to securing that a breach or threat of the same or a similar kind does not occur in future.
(4) The Certification Officer shall in an order imposing any such requirement as is mentioned in subsection (3)(a) specify the period within which the union is to comply with the requirement.
(5) Where the Certification Officer requests a person to furnish information to him in connection with enquiries made by him under this section, he shall specify the date by which that information is to be furnished and, unless he considers that it would be inappropriate to do so, shall proceed with his determination of the application notwithstanding that the information has not been furnished to him by the specified date.
(6) A declaration made by the Certification Officer under this section may be relied on as if it were a declaration made by the court.
(7) Where an enforcement order has been made, any person who is a member of the union and was a member at the time it was made is entitled to enforce obedience to the order as if he had made the application on which the order was made.
(8) An enforcement order made by the Certification Officer under this section may be enforced (by the Certification Officer, the applicant or a person mentioned in subsection (7)) in the same way as an order of the court.
(9) An order under section 108A(2)(e) may provide that, in relation to an application under section 108A with regard to a prescribed matter, the preceding provisions of this section shall apply with such omissions or modifications as may be specified in the order; and a prescribed matter is such matter specified under section 108A(2)(e) as is prescribed under this subsection.
An appeal lies to the Employment Appeal Tribunal on any question of law arising in proceedings before or arising from any decision of the Certification Officer under this Chapter.
109 Proceedings in relation to which assistance may be provided.
(1) This Chapter applies to proceedings or prospective proceedings to the extent that they consist in, or arise out of—
(a) an application to the court under section 15(3) (application for order authorising member to take or continue proceedings on behalf of trade union) or any other proceedings brought by virtue of that section;
(b) an application to the court under section 16 (remedy against trustees for unlawful use of trade union property);
(c) an application to the court under section 26 (remedy for failure to maintain register of members or secure confidentiality);
(d) an application to the court under section 31 (remedy for failure to comply with request for access to trade union’s accounting records);
(da) an application to the court under section 45C (remedy for failure to comply with duty to secure positions not held by certain offenders);
(e) an application to the court under section 56 (remedy for failure to comply with requirements as to election for office);
(f) an application to the court under section 62 (application for order where industrial action does not have support of ballot);
(g) proceedings brought by virtue of section 71 (restriction on use of funds for political objects) with respect to the unlawful application of the funds of a trade union;
(h) an application to the court under section 81 (remedy for failure to comply with requirements as to political ballot).
(2) This Chapter applies to proceedings or prospective proceedings to the extent that they consist in, or arise out of, proceedings in the High Court or the Court of Session with respect to an alleged breach or threatened breach of the rules of a trade union relating to any of the following matters—
(a) the appointment or election of a person to, or the removal of a person from, any office;
(b) disciplinary proceedings by the union (including expulsion);
(c) the authorising or endorsing of industrial action;
(d) the balloting of members;
(e) the application of the union’s funds or property;
(f) the imposition, collection or distribution of any levy for the purposes of industrial action;
(g) the constitution or proceedings of any committee, conference or other body.
The reference above to the rules of a trade union includes the rules of any branch or section of the trade union; and in paragraph (a) “office” includes any position by virtue of which a person is an official in relation to the trade union or is entitled to attend as a representative any meeting concerned with union business.
(3) This Chapter also applies to proceedings or prospective proceedings to the extent that they consist in, or arise out of such other proceedings against a trade union, an official of a trade union or the trustees of the property of a trade union as may be specified in an order made by the Secretary of State.
Any order shall be made by statutory instrument; and no such order shall be made unless a draft of it has been laid before and approved by resolution of each House of Parliament.
110 Application for assistance: its consideration.
(1) An individual who is an actual or prospective party to proceedings to which this Chapter applies may apply to the Commissioner for the Rights of Trade Union Members (in this Chapter referred to as “the Commissioner”) for assistance in relation to the proceedings, and the Commissioner shall, as soon as reasonably practicable after receiving the application, consider it and decide whether and to what extent to grant it.
(2) The matters to which the Commissioner may have regard in determining whether, and to what extent, to grant an application include—
(a) whether the case raises a question of principle,
(b) whether it is unreasonable, having regard to the complexity of the case, to expect the applicant to deal with it unaided, and
(c) whether, in the Commissioner’s opinion, the case involves a matter of substantial public interest.
(3) In the case of an application made by virtue of section 109(1)(c), (e) or (h) (failure to maintain register of members or to comply with requirements as to election or political ballot), if—
(a) the Certification Officer has already made a declaration with respect to the subject-matter of the proceedings or prospective proceedings, and
(b) it appears to the Commissioner that the applicant would (if assisted) have a reasonable prospect of securing the making of an enforcement order in the proceedings,
the Commissioner shall grant the application to the extent he considers necessary for securing that, so far as reasonably practicable, all the steps he considers appropriate (including, where appropriate, the holding of another ballot or election) are taken by the trade union for the purpose of remedying the declared failure and of ensuring that a failure of the same or a similar kind does not occur in future.
(4) The Commissioner shall not grant an application made by virtue of section 109(2) (proceedings arising out of breach of rules) unless it appears to him—
(a) that the breach of rules in question affects, or may affect, members of the union other than the applicant, or
(b) that similar breaches of the rules have been or may be committed in relation to other members of the union.
(5) If the Commissioner decides not to provide assistance, he shall, as soon as reasonably practicable after making the decision, notify the applicant of his decision and, if he thinks fit, of the reasons for it.
(1) If the Commissioner decides to provide assistance, he shall, as soon as reasonably practicable after making the decision—
(a) notify the applicant, stating the extent of the assistance to be provided, and
(b) give him a choice, subject to any restrictions specified in the notification, as to the financial arrangements to be made in connection with the provision of the assistance.
(2) The assistance provided may include the making of arrangements for, or for the Commissioner to bear the costs of—
(a) the giving of advice or assistance by a solicitor or counsel, and
(b) the representation of the applicant, or the provision to him of such assistance as is usually given by a solicitor or counsel—
(i) in steps preliminary or incidental to the proceedings, or
(ii) in arriving at or giving effect to a compromise to avoid or bring an end to the proceedings.
(3) Where assistance is provided with respect to the conduct of proceedings—
(a) it shall include an agreement by the Commissioner to indemnify the applicant (subject only to any exceptions specified in the notification) in respect of any liability to pay costs or expenses arising by virtue of any judgment or order of the court in the proceedings,
(b) it may include an agreement by the Commissioner to indemnify the applicant in respect of any liability to pay costs or expenses arising by virtue of any compromise or settlement arrived at in order to avoid the proceedings or bring the proceedings to an end, and
(c) it may include an agreement by the Commissioner to indemnify the applicant in respect of any liability to pay damages pursuant to an undertaking given on the grant of interlocutory relief (in Scotland, an interim order) to the applicant.
(4) Where the Commissioner provides assistance in relation to any proceedings, he shall do so on such terms, or make such other arrangements, as will secure that a person against whom the proceedings have been or are commenced is informed that assistance has been or is being provided by the Commissioner in relation to them.
(5) In England and Wales, the recovery of expenses incurred by the Commissioner in providing an applicant with assistance (as taxed or assessed in such manner as may be prescribed by rules of court) shall constitute a first charge for the benefit of the Commissioner—
(a) on any costs which, by virtue of any judgment or order of the court, are payable to the applicant by any other person in respect of the matter in connection with which the assistance is provided, and
(b) on any sum payable to the applicant under a compromise or settlement arrived at in connection with that matter to avoid or bring proceedings to an end.
(6) In Scotland, the recovery of such expenses (as taxed or assessed in such manner as may be prescribed by rules of court) shall be paid to the Commissioner, in priority to other debts—
(a) out of any expenses which, by virtue of any judgment or order of the court, are payable to the applicant by any other person in respect of the matter in connection with which the assistance is provided, and
(b) out of any sum payable to the applicant under a compromise or settlement arrived at in connection with that matter to avoid or bring proceedings to an end.
112 Title of proceedings where assistance provided.
(1) Where a person is receiving assistance in relation to proceedings, there shall, if he so wishes, be added after his name in the title of the proceedings the words “(assisted by the Commissioner for the Rights of Trade Union Members)".
(2) The addition of those words shall not be construed as making the Commissioner a party to the proceedings or as liable to be treated as a party for any purpose; and the omission of those words shall be treated as an irregularity only and shall not nullify the proceedings, any step taken in the proceedings or any document, judgment or order therein.